First published 3 April 2017
Final date for submissions
5pm Friday 28 April 2017
(this consultation has concluded)
Consultation document
Short duration derivatives
Submission form
Feedback form
E-mail for submission
consultation@fma.govt.nz (please use the title of the consultation paper for the subject line)
Resulting documents
Designation notice
Summary of submissions report
We are seeking feedback on whether we should c...

First published 22 May 2017
Final date for submissions
5pm, Friday 9 June 2017
(this consultation has concluded)
Consultation document
Proposed exemption from the obligation to prepare scheme financial statements for bundled unit trusts
Submission form
Feedback form
E-mail for submission
consultation@fma.govt.nz (please use the title of the consultation paper for the subject line)
Under the Securities Act 1978 (SA) a numbe...

This consultation paper considers when shares in investment companies may be designated as managed investment products (MIPs). Being MIPs subject these investment companies to the licensing, disclosure and governance requirements of managed investment schemes.

First published 4 May 2017
Final date for submissions
5pm, Friday 16 June 2017
(this consultation has concluded)
Consultation document
Proposed guidance on substantial product holder disclosures
Submission form
Feedback form
E-mail for submission
consultation@fma.govt.nz (please use the title of the consultation paper for the subject line)
We have released a consultation paper on proposed guidance about substantial prod...

First published 11 April 2017
Final date for submissions
5pm, Friday 30 June 2017
(this consultation has concluded)
Consultation document
Improving financial information in an equity PDS
Submission form
Feedback form
E-mail for submission
consultation@fma.govt.nz (please use the title of the consultation paper for the subject line)
We intend to issue guidance for equity issuers on how to disclose financial information i...

This guidance note is for providers advising on KiwiSaver products and will replace our 2012 Guidance Note: Sale and Distribution of KiwiSaver. We are replacing this guidance to recognise feedback that our 2012 approach resulted in some people not getting the help they needed, as firms saw it as risky to provide advice. This revised guidance is intended to change that situation, by encouraging advisers and financial firms to help people make good decisions about KiwiSaver.

First published 21 February 2017
Final date for submissions
5pm Friday 17 March 2017
(this consultation has concluded)
Consultation document
Proposed transitional relief for non-NZX brokers to allow limited use of buffers
Submission form
Feedback form
E-mail for submission
consultation@fma.govt.nz (please use the title of the consultation paper for the subject line)
We are seeking views on a proposal for a class exemption...

We are seeking feedback on our conduct guide. The guide details how we will examine whether financial service providers are demonstrating good conduct under the Financial Markets Conduct Act (FMC Act).

First published 16 January 2017
Final date for submissions
5pm Friday 17 March 2017
(this consultation has concluded)
Consultation document
Requirement for managers of multiple participant schemes to register participation agreements
Submission form
Feedback form
E-mail for submission
consultation@fma.govt.nz (please use the title of the consultation paper for the subject line)
We are seeking views on a proposal for a pos...

We are seeking views on the proposals to provide class exemptions which provide co-operative companies and industrial and provident societies a lighter path of compliance with the Financial Markets Conduct Act 2013 (FMC Act) when they offer their members shares of minimal value.

We are seeking views on the proposals to provide class exemptions which provide co-operative companies and industrial and provident societies a lighter path of compliance with the Financial Markets Conduct Act 2013 (FMC Act) when they offer their members shares of minimal value.